Mark Jonathan Mendoza

Last updated
2 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • Pluto Wealth Limited

    FRN 582336

    • 19. Administrative functions in relation to the operation of stakeholder pension schemes
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 17. Administrative functions in relation to managing investments
    • [FCA CF] Functions requiring qualifications (since 2 Mar 2021)
    • [FCA CF] Significant management (since 2 Mar 2021)
    • [FCA CF] CASS oversight function (since 2 Mar 2021)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (since 16 May 2013)
    • CF1 Director (AR) (9 Aug 2012 to 1 Dec 2020)
    • CF30 Customer (3 Aug 2012 to 31 Dec 2012)
    • CF1 Director (3 Aug 2012 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Aug 2012 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Aug 2012 to 8 Dec 2019)
    • Responsible for Insurance Mediation (3 Aug 2012 to 30 Sep 2018)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF30 Customer (1 Nov 2007 to 28 Sep 2012)
    • CF21 Investment Adviser (18 Jul 2006 to 31 Oct 2007)
  • Ayot Mead Ltd (no longer approved here)

    FRN 454032

    • Employed By (18 Jul 2006 to 4 Aug 2007)

Recent activity

Updates to this individual's record on the FCA register.

No changes recorded yet.